SIE Overview of the Regulatory Framework Practice Question 5

Correct Answer: C

Explanation:

C: A text received from an executor of a customer's estate stating that the final handling of the securities was improper is a reportable customer complaint; it is dissatisfaction expressed in writing by a customer's authorized representative regarding activities related to final handling of that customer's securities. Choice A, although it is in writing, is not reportable because it is not by the customer's authorized representative. Choices B and D are not reportable because they are not in writing.